Checklist · Professional Discipline & Occupational Regulation
Complaint, investigation and deadline register for a lawyer respondent (Legal Profession Uniform Law, NSW)
Register for a lawyer facing a complaint under Uniform Law Chapter 5: complaint type, 3-year time limit and waiver, notification, submission deadline, investigation steps, determinations and review dates, with an index of the regulator’s file and the practitioner’s records.
- Kind
- Checklist. Steps or checks to work through and tick off.
- Where it applies
- New South Wales
- AI use
- Yellow AI can help in set ways. A lawyer checks specific points before use.
- Law stated as at
- 18 October 2026
- Status
- Maintained. Checked on 18 October 2026 against the 3 authorities it cites, for New South Wales.
- Version
- 1
- Source
- Written for this library
When to use it
Open when a NSW lawyer client is notified of a complaint by the Legal Services Commissioner or the Law Society or Bar Council, and keep it current until the matter closes or any tribunal review ends.
Used for these tasks
- Build the complaint, investigation and deadline register for a practitioner
- Index the regulator's file and the practitioner's records
Each task page says how far AI may help with the task and what the lawyer must review.
How AI may be used
AI may enter dates and index documents from the file; the lawyer confirms every deadline and the characterisation of the complaint.
AI may
- Enter the complaint date, notices, specified submission periods and decisions from the correspondence
- Index the regulator’s file and the practitioner’s records with dates and sources
AI must not
- Must not decide whether the complaint is a consumer or disciplinary matter
- Must not process client files of the practitioner outside the firm’s approved environment
- Must not contact the regulator or complainant
The lawyer checks
- The submission period specified by the regulator is diarised, with any extension in writing
- The 3-year time limit and any waiver ground have been checked
- Review rights and time limits are diarised from each determination
Method: how the Green, Yellow and Red levels are decided. This is guidance for planning, not legal advice.
Read the full text
The full text is for signed-in accounts. It is free. When you sign in you can:
- read the whole precedent, with its drafting notes beside it;
- copy it, or download it as a Word file or Markdown;
- add it to your firm’s knowledge base, so colleagues can find it;
- let the AI tools you connect read it from that knowledge base.
The summary, the law it rests on and the AI-use guidance above stay public. Privacy.
More in Professional Discipline & Occupational Regulation
- Allegations against the conduct standard map: unsatisfactory professional conduct and professional misconduct (Uniform Law)
- Practitioner’s response to a complaint or show cause notice: preparation checklist and structure
- Tribunal review application checklist: practising certificate and disciplinary determinations (NCAT, NSW)
All precedents for Professional Discipline & Occupational Regulation · Tasks and AI use in this area